Checkpoint Learning

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Audit Quality: What the Regulators Want to See  

CATEGORY: Accounting & Auditing
2 CPE Credits

Audit engagement deficiencies noted by the AICPA, PCAOB, DOL, OMB and other regulators has resulted in increased firm inspections and targeted inspection selections. Recent surveys by the AICPA, DOL and PCAOB have noted significant deficiencies that are clearly linked to the size and experience of the audit practice. Regulators have developed a framework for audit quality based upon inputs (such as knowledge and experience), processes (risk assessment and audit procedures), results (accuracy of reports and findings in regulatory reviews) and context (fees tenure, governance). This seminar will review the common deficiencies noted in audit engagements subject to regulatory filings and use the framework to develop processes and procedures to improve audit quality in your firm.

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